Certain Transactions and Restrictions. (a) The Company agrees that it will provide, not later than five Business Days after receipt of a written request by the Sponsor on behalf of the Fund, the Taxpayer Identification Number of any or all Variable Insurance Product owner(s) and the amount, date, name of investment professional associated with the Variable Insurance Product owner (if any), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange transaction by such Variable Insurance Product owner(s) in an Account investing in the Fund through an account maintained by the Company during the specific period covered by the request. Unless required by applicable law, rule or regulation, the Sponsor and the Fund agree not to use the information received under this Section for marketing or any other purpose not related to (i) limiting or reducing abusive trading in shares issued by the Fund or (ii) collecting purchase or redemption fees (if any).
Certain Transactions and Restrictions. (i) The Intermediary will provide, not later than five Business Days after receipt of a written request by Vanguard on behalf of a VVIF Portfolio, the Taxpayer Identification Number of any or all Policy owner(s) and the amount, date, name of investment professional associated with the Policy owner (if any), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of shares of such VVIF Portfolio held through an account maintained by the Intermediary or an Underlying Intermediary during the specific period covered by the request. Unless required by applicable law, rule or regulation, Vanguard and the VVIF Portfolios agree not to use the information received under this Section 11(n)(i) for marketing or any other purpose not related to (A) limiting or reducing abusive trading in shares issued by the VVIF Portfolios or (B) collecting purchase or redemption fees (if any).
Certain Transactions and Restrictions. (a) The Company agrees that it will provide, not later than ten Business Days after receipt of a written request by the Sponsor on behalf of the Fund, the Taxpayer Identification Number of any or all Variable Insurance Product owner(s) and the amount, date, name of investment professional associated with the Variable Insurance Product owner (if any), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange transaction by such Variable Insurance Product owner(s) in an Account investing in the Fund through an account maintained by the Company during the specific period covered by the request. Requests must set forth a specific period, not to exceed 90 calendar days from the date of the request, for which transaction information is sought. The Sponsor may request transaction information older than 90 calendar days from the date of the request as it deems necessary to investigate compliance with policies established by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding shares issued by the Fund. Information regarding transactions resulting from dollar cost averaging programs, automatic rebalancing programs, periodic deduction of fees, and redemptions pursuant to a systematic withdrawal plan will not be included in the transaction information furnished to the Sponsor; as a result, the transaction information provided for a certain period will not be equal to the number of omnibus trades made during that same period. Unless required by applicable law, rule or regulation, the Sponsor and the Fund agree not to use the information received under this Section for marketing or any other purpose not related to (A) limiting or reducing abusive trading in shares issued by the Fund or (B) collecting purchase or redemption fees (if any).
Certain Transactions and Restrictions. (a) The Company agrees that it will provide, promptly upon written request by the Sponsor on behalf of the Fund, the Taxpayer Identification Number of any or all Variable Insurance Product owner(s) and the amount, date, name of investment professional associated with the Variable Insurance Product owner (if any), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange transaction by such Variable Insurance Product owner(s) in an Account investing in the Fund through an account maintained by the Company during the specific period covered by the request, not to exceed ninety Business Days from the date of the request. Unless required by applicable law, rule or regulation, the Sponsor and the Fund agree not to use the information received under this Section for marketing or any other purpose not related to (i) limiting or reducing abusive trading in shares issued by the Fund, or (ii) collecting purchase or redemption fees (if any).
Certain Transactions and Restrictions. (a) The Company agrees that it will provide, not later than 15 Business Days after receipt of a written request by the Sponsor on behalf of the Fund, the Taxpayer Identification Number of any or all Variable Insurance Product owner(s) and the amount, date, and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange transaction by such Variable Insurance Product owner(s) in an Account investing in the Fund through an account maintained by the Company during the specific period covered by the request. The Company further agrees that it will reasonably cooperate with the Sponsor in the event that the Sponsor makes a good faith determination on behalf of the Fund that it is reasonably necessary for the Sponsor to request that the Company disclose the name of the investment professional associated with the Variable Insurance Product owner (if any). In such an event, the Company and the Sponsor shall mutually agree upon the terms and conditions applicable to the Company's disclosure of such information. Unless required by applicable law, rule or regulation, the Sponsor and the Fund agree not to use the information received under this Section for marketing or any other purpose not related to (A) limiting or reducing abusive trading in shares issued by the Fund or (B) collecting purchase or redemption fees (if any).
Certain Transactions and Restrictions. (a) The Company agrees that it will execute written instructions from the Sponsor, on behalf of the Fund, to restrict or prohibit further purchases or exchanges of Fund shares by a Variable Insurance Product owner(s) that has been identified by the Sponsor as having engaged in transactions of the Fund’s shares (directly or indirectly through the Accounts) that violate policies established by the Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding shares issued by the Fund. Unless otherwise directed by the Sponsor, any such restrictions or prohibitions shall only apply to transactions initiated or directed by the Variable Insurance Product owner(s) and shall not apply to transactions resulting from a[n]: (i) automatic contractual or systematic program or enrollment such as transfer of assets within a Variable Insurance Product to a Portfolio as a result of “dollar cost averaging” programs, Company-approved asset allocation programs, or automatic rebalancing programs; (ii) Variable Insurance Product death benefit; (iii) one-time step-up in Variable Insurance Product value pursuant to a Variable Insurance Product death benefit; (iv) allocation of assets to a Portfolio through a Variable Insurance Product as a result of payments such as loan repayments, scheduled contributions, retirement plan salary or employer matching contributions or planned premium payments to the Variable Insurance Product; (v) pre-arranged transfers at the conclusion of a required free-look period; (vi) automatic contractual or systematic program or enrollment such as transfer of assets within a Variable Insurance Product out of a Portfolio as a result of annuity payouts, loans, systematic withdrawal programs, insurance company approved asset allocation programs and automatic rebalancing programs; (vii) deduction of charges or fees under a Variable Insurance Product; or (viii) transaction within a Variable Insurance Product out of a Portfolio as a result of scheduled withdrawals or surrenders from a Variable Insurance Product. Instructions must be received by the Company at the following address, or such other address that the Company may communicate to the Sponsor in writing from time to time, including, if applicable, a facsimile telephone number: American Family Life Insurance Company Attn: Broker/Dealer Operations Manager 0000 Xxxxxxxx Xxxxxxx Xxxxxxx, XX 00000
Certain Transactions and Restrictions. (a) The Company agrees that it will provide, not later than ten Business Days after receipt of a written request by the Sponsor on behalf of the Fund, the Taxpayer Identification Number of any or all Variable Insurance Product owner(s) and the amount, date, and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange transaction by such Variable Insurance Product owner(s) in an Account investing in the Fund through an account maintained by the Company during the specific period covered by the request. Notwithstanding the foregoing, if the Sponsor requests information specified in this paragraph (a) that is older than 180 days, the Company shall (i) use its best efforts to provide such information as soon as reasonably practicable, and (ii) within five Business Days after receipt of such a request, shall inform the Sponsor of the time required by the Company to provide the requested information; provided, however, if the Sponsor is requesting the information in response to a request by regulatory authority or requirement of applicable law or judicial process, the Company, if notified by the Sponsor of any required response times at the time of the request for information, shall use its best efforts to provide such information within the required timeframes.
Certain Transactions and Restrictions. (a) The Company agrees that it will provide, not later than five Business Days after receipt of a written request by the Sponsor on behalf of the Fund, the Taxpayer Identification Number (“TIN”) (or a unique identifying number in lieu of a TIN) of any or all Variable Insurance Product owner(s) and the amount, date, name of investment professional associated with the Variable Insurance Product owner (if any), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange transaction by such Variable Insurance Product owner(s) in an Account investing in the Fund through an account maintained by the Company during the specific period covered by the request. Unless required by applicable law, rule or regulation, the Sponsor and the Fund agree not to use the information received under this Section for marketing or any other purpose not related to (i) limiting or reducing abusive trading in shares issued by the Fund or (ii) collecting purchase or redemption fees (if any).
Certain Transactions and Restrictions. (a) The Company agrees that it will provide promptly, but in no event later than ten (10) Business Days, after receipt of a written request by the Sponsor on behalf of the Fund, the Taxpayer Identification Number (“TIN”), the Individual/International Taxpayer Identification Number (“ITIN”), or other government-issued identifier (“GII”) of any or all Variable Insurance Product owner(s) and the amount, date, and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange transaction of Fund shares (including by specific Portfolio) by such Variable Insurance Product owner(s) in an Account investing in the Fund through an account maintained by the Company during the specific period covered by the request. When providing such information, the Company may, at its option, include a description of whether any particular transaction was a Variable Insurance Product Owner-Initiated Transfer or something other than a Variable Insurance Product Owner-Initiated Transfer. Unless required by applicable law, rule or regulation, the Sponsor and the Fund agree not to use the information received under this Section for marketing or any other purpose not related to (i) limiting or reducing abusive trading in shares issued by the Fund or (ii) collecting purchase or redemption fees (if any). Requests must set forth a specific period for which transaction information is sought. Notwithstanding the foregoing, if the Sponsor requests information that is older than 180 days, the Company shall use its best efforts to provide such information as soon as reasonably practical.
Certain Transactions and Restrictions. (i) The Intermediary agrees that it will provide, not later than five Business Days after receipt of a written request by Vanguard on behalf of a Vanguard Fund, the Taxpayer Identification Number of any or all Policy owners(s) and the amount, date, name of investment professional associated with the Policy owner (if any), and transaction type (purchase, redemption, transfer, or exchange) of every purchase, redemption, transfer, or exchange of shares of such Vanguard Fund held through an account maintained by the Intermediary or an Underlying Intermediary during the specific period covered by the request. Unless required by applicable law, rule or regulation, Vanguard and the Vanguard Funds agree not to use the information received under this Section for marketing or any other purpose not related to (A) limiting or reducing abusive trading in shares issued by the Vanguard Funds or (B) collecting purchase or redemption fees (if any).
